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tion 16. Date of Action: December 12, 2012 Brought By. FSA, FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (Dal), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation of L
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
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ISPOSMON MONETARY SmcnoNs 1 December 12, 2012 FSA, FINMA, CFTC Entity: UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (DO)), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulat
TEM 17. VOTING CLIENT SECURITIES 14 ITEM 18. FINANCIAL INFORMATION 15 ML281837-MAXWELL CONF I DENTIAL UBSTERRAMAR00001467 EFTA00237113 About UBS Fund Advisor. L.L.C. UBS Fund Advisor, L.L.C. ("Fund Advisor') is a registered investment adviser that provides advisory and administration services to
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ISPOSMON MONETARY SmcnoNs 1 December 12, 2012 FSA, FINMA, CFTC Entity: UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (DO)), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulat
ITEM 17. VOTING CLIENT SECURITIES 14 ITEM 18. FINANCIAL INFORMATION 15 ER305378-MAXWELL CONFIDENTIAL UBSTERFtAMAR00002091 EFTA00237722 About UBS Fund Advisor. L.L.C. UBS Fund Advisor, L.L.C. ("Fund Advisor') is a registered investment adviser that provides advisory and administration services to
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lion 13. Date of Action: December 12, 2012 Brought By: FSA, FINMA, CFTC Entity: UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (DOD, UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation o
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
2 mentions1 same-page
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lion 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
2 mentions1 same-page
Page ?Same page
lion 13. Date of Action: December 12, 2012 Brought By: FSA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
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2 mentions1 same-page
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lion 13. Date of Action: December 12, 2012 Brought By: ESA. FINMA, CFTC Entity. UBS AG On 19 December 2012, UBS AG entered into settlements with the US Department of Justice (00J), UK Financial Services Authority, and the Commodity Futures Trading Commission (CFTC) in connection with their investigations of manipulation
formation about certain disciplinary matters relating to the AlphaKeys Funds and the UBS Funds (collectively, the Funds), our parent company UBS AG, UBS Fund Advisor LLC (the Funds' Member Designee, Managing Member or Administrator), UBS Financial Services, Inc. (the Funds' Distributor), as well as certa
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Mutual Connections (186)
Entities connected to both Department of Justice and UBS Fund
United States
LOCATION1,116 w/ Department·8 w/ UBS
Ghislaine Maxwell
PERSON917 w/ Department·7 w/ UBS
New York
LOCATION473 w/ Department·4 w/ UBS
Marc Rich
PERSON295 w/ Department·3 w/ UBS
Samantha Power
PERSON233 w/ Department·5 w/ UBS
New York State
LOCATION114 w/ Department·5 w/ UBS
New Hampshire
LOCATION110 w/ Department·5 w/ UBS
U.S. Treasury
ORGANIZATION101 w/ Department·2 w/ UBS
the Securities and Exchange Commission
ORGANIZATION88 w/ Department·8 w/ UBS
the District of Columbia
LOCATION80 w/ Department·2 w/ UBS
NM
Nadia Marcinkova
PERSON78 w/ Department·2 w/ UBS
the Internal Revenue Service
ORGANIZATION77 w/ Department·2 w/ UBS
Ralph Lauren
PERSON73 w/ Department·2 w/ UBS
Federal Reserve
ORGANIZATION63 w/ Department·8 w/ UBS
Mohammed bin Salman
PERSON56 w/ Department·3 w/ UBS
Wilmington
LOCATION48 w/ Department·3 w/ UBS
JPMorgan Chase
ORGANIZATION44 w/ Department·3 w/ UBS
Tokyo
LOCATION40 w/ Department·3 w/ UBS
Internal Revenue Service
ORGANIZATION35 w/ Department·5 w/ UBS
UBS AG
ORGANIZATION21 w/ Department·9 w/ UBS